Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-03128 Greif & Co. Respondents/Counter-Claimants/ Hearing Site: Los Angeles, California Third Party Claimants Sara C. Allen David Joel lannini Third Party Respondent Lloyd Greif Nature of the Dispute: Member vs. Associated Persons Associated Persons vs. Member Associated Persons vs. Associated Person REPRE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03405 Karen B. Roberts vs. Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Smith Barney, Inc. Deutsche Bank Securities, Inc. f/k/a Deutsche Bank Alex. Brown, Inc. Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant Karen B. Roberts, hereinafter referred to as "Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-05826 Debbie Houston Laura Lett vs. Respondent Hearing Site: Atlanta, Georgia Wells Fargo Advisors, LLC Nature of the Dispute: Customers vs. Member The case proceeded under the Optional All Public Panel rule/ All Public Panel REPRESENTATION OF PARTIES Debbie Houston and Laura Lett, hereinafter collectively referred to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Maxim Group LLC Case Number: 10-00927 vs. Respondent Mourad Jridi Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": James E. Siegel, Esq., Maxim Group LLC, New York, NY. Respondent Mourad Jridi, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01740 Becky T. Phillips (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant Richard S. Frankowski, Esq., Burke Harvey & Frankowski, LLC, Birmingham, AL. For Respondents: Curt R. Soefl< er, Esq., Morgan Keegan & Company, Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 28, 2011 CASE SUMMARY: Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01782 Richard N. Oldham (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Curt R. Soefl< er, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 5, 2011 CASE SUMMARY: Claimant asserted

.WVAUl) FINRA DISPUTE RESOLUTION CASE: 11-01918 Ameripnse Financial Services, Inc. (Claimant) vs. James Pihaly (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Ml. Respondent appeared pro se. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 10, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Relief Req

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02602 A.K. Capital, LLC vs. Respondents Hearing Site: New York, New York Thomas C. McHugh The Princeridge Group LLC Triton Funding Partners, LLC Nature of the Dispute: Member vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant A.K. Capital, LLC, hereinafter referred to as "Claimant": Matthew

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Oppenheimer & Co., Inc. Case Number: 10-05542 vs. Respondent Fred Johnson, Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Loretta M. Gastwirth, Esq., Meltzer, Lippe, Goldstein & Breitstone, Mineola, NY. R

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01540 Commonwealth Equity Services, Inc. (Claimant) vs. John K. Kai (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joe Tully, Commonwealth Equity Services, Inc., Waltham, MA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: April 15, 2011 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract,